Canadian Securities Course (CSC) Practice Exam · Question
Which Canadian regulatory body is primarily responsible for the oversight of investment dealers and marketplaces?
CIRO, formed from the merger of IIROC and MFDA, is the pan-Canadian self-regulatory organization that oversees all investment dealers, as well as trading activi
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Question: Which Canadian regulatory body is primarily responsible for the oversight of investment dealers and marketplaces?
Answer options: ✅ Canadian Investment Regulatory Organization (CIRO)
- Canada Deposit Insurance Corporation (CDIC)
- Financial Consumer Agency of Canada (FCAC)
- Office of the Superintendent of Financial Institutions (OSFI)
Correct answer: Canadian Investment Regulatory Organization (CIRO)
Explanation: CIRO, formed from the merger of IIROC and MFDA, is the pan-Canadian self-regulatory organization that oversees all investment dealers, as well as trading activity on Canada’s debt and equity marketplaces.
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